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SEC News Digest
Issue 2012-64 April 3, 2012
Commission announcements
U.S. and Canadian Securities Regulators Discuss Closer Cooperation on Cross-Border Oversight
The Securities and Exchange Commission announced today that its senior staff met last week with counterparts at the Ontario Securities Commission (OSC) to discuss ways to further strengthen cooperation regarding their supervision of financial firms.
At the March 28 meeting, the agencies’ staffs discussed a variety of issues, including their respective approaches to examinations, investor education initiatives, and the status of regulatory reforms in each jurisdiction. The SEC and OSC staffs also discussed additional coordination in the oversight of dually regulated entities, and they agreed to meet regularly to discuss issues of mutual significance regarding supervisory coordination and emerging risks in the cross-border market.
The meeting is part of an effort detailed in a June 2010 memorandum of understanding concerning consultation, cooperation, and the exchange of information regarding the supervision of entities regulated both in the U.S. and Canada.
“A significant lesson from the 2008 financial crisis is the importance of sharing information about firms that operate cross-border so that regulators can identify and mitigate emerging risks,” said Ethiopis Tafara, Director of the SEC’s Office of International Affairs. “Since the 2010 agreement, SEC and OSC staff cooperation on oversight of dually regulated entities has increased substantially, including onsite examinations of broker-dealers, transfer agents, and investment advisers.”
Carlo di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations, added, “The shared border between the U.S. and Canada and the similarity of our regulatory systems have resulted in a significant cross-border market for financial services. The SEC and OSC staffs are working to ensure that the regulatory oversight of the entities that operate in this market is as seamless as the transactions in which these entities engage. We look forward to continued cooperation with our OSC counterparts.” (Press Rel. 2012-52)
enforcement proceedings
In the Matter of Alex Martinez
On April 2, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Alex Martinez. The Order finds that on January 30, 2012, a judgment was entered against Alex Martinez, permanently enjoining him, by consent, from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Advisers Act, in the civil action entitled Securities and Exchange Commission v. MAM Wealth Management, LLC, et al., Civil Action Number, CV 11-2934 SJO (JCx) in the United States District Court for the Central District of California, Western Division.
The Order further finds that the Commission’s complaint alleged that from July 2007 through March 2009, Martinez and his codefendant invested approximately $10.3 million of their advisory clients’ funds in MAM Wealth Management Real Estate Fund, LLC (Fund), a speculative and risky investment suitable only for sophisticated investors. Despite his knowledge of these risks, Martinez knowingly and recklessly misrepresented to clients that the Fund was a safe and relatively liquid investment. In addition, Martinez and his codefendant used their discretionary authority over the funds of MAM clients to invest substantial client assets into the Fund, in breach of their fiduciary duty because the Fund was an unsuitable investment for their clients who were unaccredited investors, retirees with limited means, or the Fund was contrary to the clients’ stated conservative investment goals.
Based on the above, the Order bars Martinez from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Martinez consented to the issuance of the Order without admitting or denying any of the findings in the Order except as to the Commission’s jurisdiction over him, the subject matter of these proceedings, and the entry of the judgment in the civil injunctive action, which he admitted. (Rel. 34-66712; File No. 3-14830)
Delinquent Filer’s Stock Registration Revoked
The registration of the registered securities of ASP Ventures Corp. has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-66716; File No. 3-14803)
In the Matter of Jerry L. Aubrey
On April 3, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Jerry L. Aubrey (Aubrey). The Order finds that on December 20, 2011, a final judgment was entered against Aubrey in Securities and Exchange Commission v. Jerry L. Aubrey, et al. (Civil Action Number SACV 11-1564 JVS (RNBx) (C.D. Cal.)), permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and permanently enjoining him and any entity he owns or controls from offering unregistered securities.
Based on the above, the Order bars Aubrey from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and bars Aubrey from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Aubrey consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted the entry of the permanent injunctions. (Rel. 34-66726; File No. 3-14831)
In the Matter of Andrey C. Hicks
On April 3, 2012, the United States Securities and Exchange Commission (Commission) issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing against Andrey C. Hicks (Hicks).
The Order finds that Hicks was enjoined from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 206(4) of the Advisers Act and Rule 206(4)-8 thereunder, in the civil action entitled Securities and Exchange Commission v. Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant, Civil Action No. 1:11-CV-11888-RGS (in the United States District Court for the District of Massachusetts). In the Order, the Division of Enforcement alleges that from at least June 2011 until October 2011, Hicks and his investment advisory firm, Locust Offshore Management, LLC, engaged in a fraudulent scheme to defraud investors by making numerous misrepresentations when soliciting individuals to invest in a non-existent pooled investment fund called Locust Offshore Fund. The complaint alleged that Hicks and Locust made a number of materially false and misleading statements about the educational and professional background of Hicks; the existence of Locust Offshore Fund as a legitimate company incorporated under the laws of the British Virgin Islands; and the existence of a purported auditor, prime broker, and custodian for Locust Offshore Fund. By making these representations and creating other indicia of legitimacy, the complaint alleged that Hicks and Locust obtained at least $1.7 million from 10 investors, transferred substantially all of these funds to Hicks’ personal bank accounts, and misappropriated at least a portion of these funds for Hicks’ personal expenses.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Hicks with an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. The Order requires that the administrative law judge issue an initial decision no later than 210 days from the date of service of the Orders. (Hicks – Rel. IA-3388; File No. 3-14832)
In the Matter of Locust Offshore Management, LLC
On April 3, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940 and Notice of Hearing against Locust Offshore Management, LLC (Locust).
The Order finds that Locust was enjoined from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 206(4) of the Advisers Act and Rule 206(4)-8 thereunder, in the civil action entitled Securities and Exchange Commission v. Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant, Civil Action No. 1:11-CV-11888-RGS (in the United States District Court for the District of Massachusetts). In the Order, the Division of Enforcement alleges that from at least June 2011 until October 2011, Locust and its CEO, Andrey C. Hicks, engaged in a fraudulent scheme to defraud investors by making numerous misrepresentations when soliciting individuals to invest in a non-existent pooled investment fund called Locust Offshore Fund. The complaint alleged that Locust and Hicks made a number of materially false and misleading statements about the educational and professional background of Hicks; the existence of Locust Offshore Fund as a legitimate company incorporated under the laws of the British Virgin Islands; and the existence of a purported auditor, prime broker, and custodian for Locust Offshore Fund. By making these representations and creating other indicia of legitimacy, the complaint alleged that Locust and Hicks obtained at least $1.7 million from 10 investors, transferred substantially all of these funds to Hicks’ personal bank accounts, and misappropriated at least a portion of these funds for Hicks’ personal expenses.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Locust with an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. The Order requires that the administrative law judge issue an initial decision no later than 210 days from the date of service of the Orders. (Rel. IA-3389; File No. 3-14833)
SEC Sues ArthroCare’s Former CEO and CFO to Recover Bonuses and Stock Profits Received During Accounting Fraud
On April 2, 2012, the Securities and Exchange Commission sued two former executives at an Austin, Texas-based ArthroCare Corporation to recover bonus compensation and stock sale profits they received during a period when the company’s financial statements were misstated due to accounting fraud.
According to the SEC’s complaint filed in federal court in Austin, former ArthroCare CEO Michael A. Baker and former CFO Michael T. Gluk are not charged with personal misconduct, but they are still required under Section 304 of the Sarbanes-Oxley Act (SOX) to reimburse ArthroCare for bonuses and stock profits that they received after the company filed fraudulent financial statements during 2006, 2007, and the first quarter of 2008.
The Commission previously settled charges against ArthroCare, Rel. No. 34-63883 (February 9, 2011), and against John Raffle and David Applegate, two former ArthroCare executives alleged to have conducted the scheme to inflate the company’s revenues and earnings. See Rel. No. 22027 (July 5, 2011). [SEC v. Michael A. Baker and Michael T. Gluk, Civil Action No. 1:12-cv-00285, USDC, WDTX] (LR-22315; AAE Rel. 3375)
Court Enters Final Judgment Against Defendant Anthony M. Cimini, Sr.
The Commission announced that on March 30, 2012, the United States District Court for the Middle District of Florida entered a Final Judgment, by consent, against Defendant Anthony M. Cimini, Sr.. The Final Judgment orders Cimini to pay disgorgement of $18,100, representing profits gained as a result of the conduct alleged in the Complaint, prejudgment interest thereon in the amount of $4,428.91, and a civil penalty in the amount of $18,100, pursuant to Section 20(d) of the Securities Act of 1933 (“Securities Act”),15 U.S.C. § 77t(d), and Section 21(d)(3) of the Securities Exchange Act of 1934 (“Exchange Act”), 15 U.S.C. § 78u(d)(3), for a total amount of $40,628.91.
Cimini also previously consented to: a permanent injunction prohibiting violations of Section 10(b) of the Exchange Act, 15 U.S.C. § 78j(b), and Exchange Act Rule 10b-5, 17 C.F.R. § 240.10b-5, and Section 5 of the Securities Act, 15 U.S.C. § 77e; a penny stock bar; an officer-and-director bar; the Commission’s entitlement to disgorgement and prejudgment interest, and to a civil money penalty pursuant to Section 20(d) of the Securities Act, 15 U.S.C. § 77t(d), and Section 21(d)(3) of the Exchange Act, 15 U.S.C. § 78u(d)(3).
The Commission commenced this action by filing its complaint on May 22, 2008. The complaint alleged Cimini and other defendants participated in a fraudulent "pump and dump" scheme to evade the registration provisions of the federal securities laws and then sell purportedly unrestricted Global shares during a fraudulent promotional campaign.
The other defendants, Global Development, Carmine J. Bua, Philip Pritchard, Pietro Cimino, and Dante M. Panella, all previously settled the Commission’s anti-fraud and securities registration charges against them by consenting, without admitting or denying the Commission’s allegations, to permanent injunctions. All the individuals consented to penny stock bars, and Pritchard and Cimino consented to officer-and-director bars. The Court previously ordered disgorgement and civil penalties against Bua and Panella, with monetary orders still to be decided against the others. The Commission’s claim for a civil penalty against Global Development has been voluntarily dismissed. [SEC v. Global Development & Environmental Resources, Inc., et al., Civil Action No. 8:08-CV-993-T27MAP (M.D. Fla.)] (LR-22316)
Investment company act releases
Ares Capital Corporation
An order has been issued on an application filed by Ares Capital Corporation (Company), Ares Capital Management LLC and Ivy Hill Asset Management, L.P. (Ivy Hill) for an order under Section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from Section 12(d)(3) of the Act. The order permits the Company to (a) continue to own (directly or indirectly) up to 100% of the outstanding equity interests of Ivy Hill and (b) make additional investments in Ivy Hill, in each case, following such time as Ivy Hill is required to become a registered investment adviser under the Investment Advisers Act of 1940. (Rel. IC-30024 – March 30)
Notice of Applications for Deregistration under the Investment Company Act of 1940
For the month of March 2012, a notice has been issued giving interested persons until April 24, 2012, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company:
- Value Line Convertible Fund, Inc. [File No. 811-4258]
- UBS Equity Opportunity Fund, L.L.C. [File No. 811-10269]
- Tax Exempt Proceeds Fund Inc. [File No. 811-5698]
- BlackRock Short-Term Bond Series, Inc. [File No. 811-10053]
- Cash Assets Trust [File No. 811-4066]
- SunAmerica Focused Alpha Growth Fund, Inc. [File No. 811-21770]
- SunAmerica Focused Alpha Large-Cap Fund, Inc. [File No. 811-21805]
- Munder Series Trust II [File No. 811-7897]
(Rel. IC-30025 - March 30)
self-regulatory organizations
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-045) to extend the fee pilot program for NASDAQ Last Sale has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66706)
A proposed rule change filed by NASDAQ OMX PHLX LLC to extend the FLEX no minimum value pilot program (SR-PHLX-2012-44) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66711)
Approval of Proposed Rule Changes
The Commission approved a proposed rule change (SR-NYSE-2012-06) submitted by New York Stock Exchange LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to exclude foreign affiliates, eliminate the application process for approved persons, and make related technical and conforming changes. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66709)
The Commission approved a proposed rule change (SR-NYSEAmex-2012-12) submitted by NYSE Amex LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to exclude foreign affiliates, eliminate the application process for approved persons, and make related technical and conforming changes. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66710)
Proposed Rule Changes
EDGX Exchange, Inc. filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 of the Securities Exchange Act of 1934 (SR-EDGX-2012-08) relating to amendments to Rule 2.11 that establish the authority to cancel orders and describe the operation of an error account. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66713)
EDGA Exchange, Inc. filed a proposed rule change under Rule 19b-4 of the Securities Exchange Act of 1934 (SR-EDGA-2012-09) relating to amendments to Rule 2.11 that establish the authority to cancel orders and describe the operation of an error account. Publication is expected in the Federal Register during the week of April 2. (34-66714)
A proposed rule change filed by the Options Clearing Corporation (OCC) relating to stock loan buy-in and sell-out rules (SR-OCC-2012-04) was filed pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66715)
Securities Act Registrations
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 ELDORADO GOLD CORP /FI, SUITE 1188 - BENTALL 5, 550 BURRARD STREET,
VANCOUVER, A1, V6C 2B5, (604) 687-4018 -
4,713,248 ($64,807,160.00) Equity, (File 333-180504 - Apr. 2) (BR. 09A)
S-8 SIGMA DESIGNS INC, 1778 MCCARTHY BLVD., MILPITAS, CA, 95035,
4082629003 - 150,763 ($812,613.00) Equity, (File 333-180505 - Apr. 2)
(BR. 10C)
S-8 NOMURA HOLDINGS INC, 9-1 NIHONBASHI 1-CHOME, CHUO-KU 103-8645,
TOKYO JAPAN, M0, 00000, 81 3-5255-1000 - 0 ($17,704,488.00) Equity,
(File 333-180506 - Apr. 2) (BR. 12A)
S-8 Express Scripts Holding Co., ONE EXPRESS WAY, ST. LOUIS, MO, 63121,
(314) 692-1983 - 0 ($58,000,000.00) Debt, 0 ($5,270,540,634.18) Equity,
(File 333-180507 - Apr. 2) (BR. 01B)
S-8 VelaTel Global Communications, Inc., 12526 HIGH BLUFF DRIVE, STE 155,
SAN DIEGO, CA, 92130, 760-230-8986 - 28,564,626 ($848,369.46) Equity,
(File 333-180508 - Apr. 2) (BR. 11A)
S-1 Upscale Media, Inc., 5348 VEGAS DRIVE, LAS VEGAS, VA, 89108,
202-973-0186 - 2,500,000 ($25,000.00) Debt, (File 333-180509 - Apr. 2)
(BR. 03)
S-4 SPRINT NEXTEL CORP, 6200 SPRINT PARKWAY, OVERLAND PARK, KS, 66251,
800-829-0965 - 0 ($2,000,000,000.00) Non-Convertible Debt,
(File 333-180513 - Apr. 2) (BR. 11C)
S-1 FIRST UNITED CORP/MD/, 19 S SECOND ST, OAKLAND, MD, 21550, 3013349471 -
770,141 ($4,343,595.00) Equity, (File 333-180514 - Apr. 2) (BR. 07B)
S-1 STEMLINE THERAPEUTICS INC, 750 LEXINGTON AVENUE, NEW YORK, NY, 10022,
212-831-1111 - 0 ($50,000,000.00) Equity, (File 333-180515 - Apr. 2)
(BR. )
S-1 Guidewire Software, Inc., 2211 BRIDGEPOINTE PARKWAY, SAN MATEO, CA,
94404, 650-357-9100 - 8,625,000 ($260,000,625.00) Equity,
(File 333-180516 - Apr. 2) (BR. 03B)
S-8 Transcept Pharmaceuticals Inc, 1003 W. CUTTING BLVD, SUITE 110,
POINT RICHMOND, CA, 94804, (510) 215-3500 -
695,225 ($6,841,014.00) Equity, (File 333-180517 - Apr. 2) (BR. 01B)
S-3 CUI Global, Inc., 546 19 AVENUE NE, ST. PETERSBUEG, FL, 33704,
727-290-6852 - 570,000 ($2,565,000.00) Equity, (File 333-180518 -
Apr. 2) (BR. 11A)
S-8 CUI Global, Inc., 546 19 AVENUE NE, ST. PETERSBUEG, FL, 33704,
727-290-6852 - 50,750 ($243,600.00) Equity, (File 333-180519 - Apr. 2)
(BR. 11A)
S-4 ESSA Bancorp, Inc., 200 PALMER STREET, STROUDSBURG, PA, 18360,
(570) 421-0531 - 1,312,099 ($10,985,163.00) Equity, (File 333-180520 -
Apr. 2) (BR. 07B)
S-3ASR VENTAS INC, 353 N. CLARK STREET, SUITE 3300, CHICAGO, IL, 60654,
(877) 483-6827 - 0 ($0.00) Other, (File 333-180521 - Apr. 2) (BR. 08C)
S-1 AMERICAN POWER CORP., 16 MARKET SQUARE CENTRE,
1400 16TH STREET, SUITE 400, DENVER, CO, 80202, 720.932.8389 -
0 ($4,117,589.44) Equity, (File 333-180522 - Apr. 2) (BR. 06C)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
1.01
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Entry into a Material Definitive Agreement
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1.02
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Termination of a Material Definitive Agreement
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1.03
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Bankruptcy or Receivership
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2.01
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Completion of Acquisition or Disposition of Assets
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2.02
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Results of Operations and Financial Condition
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2.03
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Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
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2.04
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Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
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2.05
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Cost Associated with Exit or Disposal Activities
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2.06
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Material Impairments
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3.01
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
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3.02
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Unregistered Sales of Equity Securities
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3.03
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Material Modifications to Rights of Security Holders
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4.01
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Changes in Registrant's Certifying Accountant
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4.02
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Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
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5.01
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Changes in Control of Registrant
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5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
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5.03
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Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
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5.04
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Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
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5.05
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Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
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5.06
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Change in Shell Company Status
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6.01
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ABS Informational and Computational Material.
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6.02
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Change of Servicer or Trustee.
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6.03
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Change in Credit Enhancement or Other External Support.
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6.04
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Failure to Make a Required Distribution.
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6.05
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Securities Act Updating Disclosure.
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7.01
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Regulation FD Disclosure
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8.01
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Other Events
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9.01
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Financial Statements and Exhibits
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8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
1st United Bancorp, Inc. FL 2.01,5.02,7.01,9.01 04/01/12
AbitibiBowater Inc. DE 8.01,9.01 04/01/12
ACTUANT CORP WI 8.01,9.01 04/02/12
ACURA PHARMACEUTICALS, INC NY 7.01,9.01 04/02/12
AFFIRMATIVE INSURANCE HOLDINGS INC DE 2.02,9.01 03/30/12
Aircastle LTD D0 7.01,9.01 03/30/12
ALERE INC. DE 1.01,2.03,9.01 03/28/12
ALEXANDER & BALDWIN INC HI 8.01,9.01 04/02/12
ALL GRADE MINING, INC. CO 4.01,5.02 03/30/12
ALLIANCE DATA SYSTEMS CORP DE 1.01,2.03,3.03,7.01, 03/29/12
9.01
AMERICAN CAMPUS COMMUNITIES INC MD 7.01,9.01 04/02/12
AMGEN INC DE 1.01,9.01 04/02/12
AMICO GAMES CORP. NV 1.02 03/27/12
AMPAL-AMERICAN ISRAEL CORP NY 2.02,7.01,9.01 04/02/12
ANNALY CAPITAL MANAGEMENT INC MD 8.01,9.01 04/02/12
APOLLO INVESTMENT CORP MD 8.01,9.01 04/02/12
APOLLO INVESTMENT CORP MD 8.01,9.01 04/02/12
ARCH CAPITAL GROUP LTD. 5.03,8.01,9.01 04/02/12
ARCHER DANIELS MIDLAND CO DE 2.03 03/27/12
Arcis Resources Corp NV 5.02 03/27/12
Ardea Biosciences, Inc./DE DE 5.02,9.01 03/27/12
Ascent Solar Technologies, Inc. DE 5.02,8.01,9.01 03/30/12
ASSOCIATED MATERIALS, LLC DE 8.01 04/02/12
ASSURANCEAMERICA CORP NV 4.02 04/02/12
ATWOOD OCEANICS INC TX 7.01,9.01 04/02/12
AVI BIOPHARMA INC OR 8.01,9.01 04/02/12
AVON PRODUCTS INC NY 5.02 04/02/12
BankFinancial CORP 5.02,9.01 03/28/12
BB&T CORP NC 8.01 04/02/12
Beacon Federal Bancorp, Inc. MD 2.02,9.01 03/30/12
Beneficial Mutual Bancorp Inc X1 8.01,9.01 04/02/12
BOINGO WIRELESS INC DE 5.08 03/30/12
Bonds.com Group, Inc. DE 4.02 03/29/12
BROADVIEW NETWORKS HOLDINGS INC DE 8.01,9.01 04/02/12
C & F FINANCIAL CORP VA 8.01 03/30/12
CAESARS ENTERTAINMENT Corp DE 3.02,8.01 03/30/12
CAMPBELL FUND TRUST DE 5.02 03/27/12
Campbell Global Trend Fund, L.P. DE 5.03 04/01/12
Campbell Global Trend Fund, L.P. DE 5.02 03/27/12
CAMPBELL STRATEGIC ALLOCATION FUND LP DE 5.02 03/27/12
CAPITAL SENIOR LIVING CORP DE 7.01,9.01 04/02/12
CASCADE CORP OR 5.02,9.01 03/27/12
CASCADE CORP OR 2.02,9.01 03/29/12
CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01,9.01 04/02/12
CAVIUM, INC. DE 2.02,9.01 04/02/12
CECIL BANCORP INC MD 3.02,3.03,5.03,9.01 03/30/12
CelLynx Group, Inc. NV 1.01,2.01,3.01,5.03, 03/26/12 AMEND
9.01
CENTURYLINK, INC LA 8.01,9.01 04/02/12
CENTURYLINK, INC LA 8.01,9.01 04/02/12
ChemoCentryx, Inc. DE 2.02,9.01 03/30/12
China Biologic Products, Inc. 8.01,9.01 04/02/12
CHINA EDUCATION INTERNATIONAL, INC. NV 1.01,3.02,7.01,9.01 12/30/11 AMEND
China Energy Recovery, Inc. DE 1.01 04/02/12
CHINA GREEN MATERIAL TECHNOLOGIES, IN NV 4.01,9.01 03/27/12
CHINA SHEN ZHOU MINING & RESOURCES, I NV 2.02,7.01,9.01 03/27/12
CHINA SHEN ZHOU MINING & RESOURCES, I NV 9.01 01/16/12 AMEND
China Shenghuo Pharmaceutical Holding 2.02,7.01,9.01 03/30/12
CHINACAST EDUCATION CORP DE 3.01,5.02,7.01,8.01, 03/27/12
9.01
CHINACAST EDUCATION CORP DE 7.01,9.01 04/02/12
Cinemark Holdings, Inc. DE 1.01,5.02,9.01 03/30/12
CNS RESPONSE, INC. DE 5.03,9.01 03/30/12
COINSTAR INC DE 5.02 04/02/12
COLONIAL COMMERCIAL CORP NY 2.02,9.01 03/28/12
Colonial Financial Services, Inc. MD 8.01,9.01 03/30/12
Colorado Ceramic Tile, Inc. CO 5.02 03/28/12
CONTINENTAL RESOURCES INC OK 1.01,3.02,7.01,9.01 03/27/12
Converted Organics Inc. DE 3.02 03/28/12
CORELOGIC, INC. DE 8.01 03/28/12
COVENANT TRANSPORTATION GROUP INC NV 1.01,2.03,9.01 03/29/12
DALECO RESOURCES CORP NV 2.01,9.01 03/28/12
DARA BioSciences, Inc. DE 1.01,9.01 01/17/12 AMEND
DDI CORP CA 1.01,2.03 03/28/12
DecisionPoint Systems, Inc. DE 2.02,9.01 03/29/12
DEEP WELL OIL & GAS INC NV 7.01,9.01 03/30/12
DEERE & CO DE 7.01 04/02/12
Delek US Holdings, Inc. 7.01,9.01 04/02/12
DIAMOND HILL INVESTMENT GROUP INC OH 8.01 04/02/12
Diamond Resorts Corp MD 2.02,9.01 03/30/12
Digital Domain Media Group, Inc. FL 2.02,9.01 04/02/12
DJO Finance LLC DE 1.01,2.03,9.01 03/30/12
DOLLAR GENERAL CORP TN 1.01,2.03,8.01,9.01 03/27/12
DONALDSON CO INC DE 1.01,9.01 03/30/12
DOW CHEMICAL CO /DE/ DE 2.05,2.06,8.01 03/27/12
DRAVCO MINING INC NV 1.02,7.01,9.01 04/02/12 AMEND
DTE ENERGY CO MI 7.01,9.01 04/02/12
Eastern World Solutions Inc. NV 1.01,2.01,5.01,5.02, 03/27/12
8.01,9.01
EBAY INC DE 5.02 03/28/12
ECOLOCAP SOLUTIONS INC. NV 1.02,7.01,9.01 04/02/12
ECOLOCAP SOLUTIONS INC. NV 1.02,7.01,9.01 04/02/12 AMEND
EDUCATION MANAGEMENT CORPORATION 1.01,2.03,9.01 03/30/12
Education Realty Trust, Inc. MD 7.01,9.01 04/02/12
EMMIS COMMUNICATIONS CORP IN 5.07 04/02/12
EMPIRE DISTRICT ELECTRIC CO KS 1.01,2.03,8.01,9.01 03/30/12
EMPIRE RESORTS INC DE 1.01,9.01 03/30/12
ENCISION INC CO 2.03,9.01 03/27/12
ENCORIUM GROUP INC NV 1.02 03/28/12
ENTERPRISE FINANCIAL SERVICES CORP DE 3.01,9.01 03/30/12
ENTROPIC COMMUNICATIONS INC DE 5.02 03/30/12
EXPRESS SCRIPTS INC DE 3.01,3.03,5.01,5.03, 04/02/12
8.01,9.01
Federal Home Loan Bank of Dallas 2.03,9.01 03/27/12
FelCor Lodging Trust Inc MD 5.02,9.01 04/01/12
First Financial Northwest, Inc. WA 1.01,9.01 03/27/12
FIRST M&F CORP/MS MS 7.01,9.01 03/30/12
Firsthand Technology Value Fund, Inc. 8.01,9.01 04/02/12
FNB BANCORP/CA/ 8.01,9.01 03/30/12
FOUR OAKS FINCORP INC NC 2.02,9.01 04/02/12
FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 04/02/12
FS Investment CORP MD 2.02,9.01 03/30/12
FX Alliance Inc. 8.01,9.01 04/02/12
FX ENERGY INC NV 8.01,9.01 04/02/12
GARDNER DENVER INC DE 5.02,7.01,9.01 03/28/12
General Maritime Corp / MI 1.01,9.01 03/29/12
GenMark Diagnostics, Inc. DE 5.02,9.01 04/02/12
GEOGLOBAL RESOURCES INC. DE 2.02,7.01,8.01,9.01 03/29/12
GISSER AUTOMOTIVE CONCEPTS INC NY 1.01 04/01/12
GLOBAL PAYMENTS INC GA 2.02,9.01 04/02/12
GLOBAL PAYMENTS INC GA 8.01 04/02/12
GlyEco, Inc. NV 7.01,9.01 03/28/12 AMEND
Golden Growers Cooperative MN 5.07 03/29/12
GRACO INC MN 1.01,2.01,2.03,9.01 03/27/12
Great Wolf Resorts, Inc. DE 8.01,9.01 04/02/12
GREENLITE VENTURES INC NV 7.01,9.01 03/27/12
Guidewire Software, Inc. DE 8.01 03/27/12
Hampden Bancorp, Inc. DE 5.02 03/29/12
HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02,9.01 03/27/12
HARTFORD FINANCIAL SERVICES GROUP INC DE 1.01,7.01,8.01,9.01 03/30/12
HARTFORD FINANCIAL SERVICES GROUP INC DE 7.01,9.01 04/02/12
HAWKER BEECHCRAFT ACQUISITION CO LLC DE 1.01,2.03,5.02,7.01, 03/27/12
9.01
HEALTH NET INC DE 8.01 04/01/12
HEALTHCARE TRUST OF AMERICA, INC. MD 1.01,1.02,2.03,7.01, 03/29/12
9.01
HEALTHCARE TRUST OF AMERICA, INC. MD 5.07 11/09/11 AMEND
HERITAGE BANKSHARES INC /VA VA 5.03,9.01 03/28/12
Home Federal Bancorp, Inc. MD 5.03,9.01 03/27/12
HOMEAWAY INC DE 8.01 04/02/12
Homeowners Choice, Inc. FL 1.01 03/09/12
HOVNANIAN ENTERPRISES INC DE 5.02,5.07,9.01 03/27/12
HSN, Inc. DE 7.01,9.01 04/02/12
HUNTINGTON BANCSHARES INC/MD MD 8.01,9.01 03/30/12
HUTCHINSON TECHNOLOGY INC MN 1.01,2.03,3.02,9.01 03/28/12
ICG GROUP, INC. DE 1.01,2.01,8.01,9.01 03/27/12
ILLUMINA INC DE 2.02,9.01 04/02/12
IMAGE ENTERTAINMENT INC DE 8.01,9.01 04/02/12
IMPAX LABORATORIES INC DE 9.01 02/06/12 AMEND
Independence Energy Corp. NV 2.01 03/29/12
INFINITE GROUP INC DE 8.01,9.01 03/30/12
INFORMATION ANALYSIS INC VA 2.02,9.01 03/29/12
INNOVATIVE SOLUTIONS & SUPPORT INC PA 5.02,9.01 04/02/12
InspireMD, Inc. DE 8.01,9.01 03/27/12
INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 8.01,9.01 03/28/12
Intellicheck Mobilisa, Inc. DE 5.02 03/31/12
Investors Bancorp Inc DE 5.01,9.01 03/27/12
ISTA PHARMACEUTICALS INC DE 8.01,9.01 04/02/12
ITRON INC /WA/ WA 5.02,9.01 03/28/12
JACKSONVILLE BANCORP INC /FL/ FL 2.02,9.01 04/01/12
JACOBS ENGINEERING GROUP INC /DE/ DE 1.01,1.02,2.03 03/29/12
JACOBS ENTERTAINMENT INC DE 2.02,9.01 03/30/12
KANSAS CITY SOUTHERN DE 7.01,9.01 03/30/12
KEATING CAPITAL INC 7.01 03/28/12
KEMET CORP DE 5.02,9.01 03/28/12
KERYX BIOPHARMACEUTICALS INC DE 8.01,9.01 04/02/12
KILROY REALTY CORP MD 1.01,2.03,3.03,5.03, 03/27/12
7.01,8.01,9.01
KINGSTONE COMPANIES, INC. DE 2.02,9.01 03/30/12
KV PHARMACEUTICAL CO /DE/ DE 1.01,5.02 03/27/12
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 04/02/12
LANDEC CORP \CA\ CA 5.02 03/30/12
LEGGETT & PLATT INC MO 5.02,9.01 03/28/12
LENCO MOBILE INC. DE 8.01 03/30/12
Life Nutrition Products, Inc DC 4.01,9.01 03/26/12
LIGAND PHARMACEUTICALS INC DE 8.01 03/02/12
LINCARE HOLDINGS INC DE 8.01,9.01 04/02/12
Linkwell CORP FL 7.01,9.01 04/02/12
Linkwell CORP FL 7.01,9.01 04/02/12 AMEND
LNB BANCORP INC OH 7.01,9.01 04/02/12
LODGENET INTERACTIVE CORP DE 5.02 03/27/12
LPL Investment Holdings Inc. DE 1.01,1.02,2.03,8.01, 03/29/12
9.01
MAGELLAN HEALTH SERVICES INC DE 8.01,9.01 03/30/12
MAINSOURCE FINANCIAL GROUP IN 1.01,9.01 03/28/12
MASCO CORP /DE/ DE 5.02 03/20/12 AMEND
MAXWELL TECHNOLOGIES INC DE 5.02 03/27/12
MB FINANCIAL INC /MD 5.03,9.01 03/28/12
MCCORMICK & CO INC MD 5.07 03/28/12
MCKESSON CORP DE 5.02,9.01 03/27/12
Measurement Specialties Inc NJ 5.02 03/29/12
MEDASSETS INC DE 3.01 03/30/12
MEDCO HEALTH SOLUTIONS INC DE 3.01,3.03,5.01,5.02, 04/02/12
5.03,8.01,9.01
MEDIANET GROUP TECHNOLOGIES INC NV 8.01,9.01 03/28/12
MEDISWIPE INC. DE 4.01 03/27/12
METRO BANCORP, INC. 5.02,8.01 03/27/12
MICHAEL BAKER CORP PA 3.03,8.01,9.01 03/30/12
MILLER ENERGY RESOURCES, INC. TN 3.03,5.03,9.01 03/27/12
Momentive Performance Materials Inc. DE 1.01,2.03,7.01,9.01 04/02/12
MSB FINANCIAL CORP. X1 8.01 03/28/12
MULTIBAND CORP MN 4.01,9.01 04/02/12 AMEND
NATIONAL PRESTO INDUSTRIES INC WI 8.01,9.01 03/28/12
NBC ACQUISITION CORP DE 7.01,9.01 03/30/12
NCO Group, Inc. DE 1.01,8.01,9.01 03/28/12
NETWORK CN INC DE 5.02 04/02/12
NETWORK ENGINES INC DE 2.03,9.01 03/28/12
NETWORK EQUIPMENT TECHNOLOGIES INC DE 2.05,5.02,9.01 03/29/12
NeuroMetrix, Inc. DE 8.01 03/28/12
NEW AMERICA ENERGY CORP. NV 1.01,9.01 04/02/12
NEWCASTLE INVESTMENT CORP MD 1.01,9.01 03/28/12
NEWFIELD EXPLORATION CO /DE/ DE 7.01,9.01 04/02/12
NEWFIELD EXPLORATION CO /DE/ DE 7.01 04/02/12
NEWS CORP 8.01,9.01 04/02/12
Nile Therapeutics, Inc. DE 1.01,9.01 03/30/12
NORTHSTAR REALTY FINANCE CORP. MD 8.01 03/29/12
NORTHWEST INDIANA BANCORP IN 8.01 03/30/12
Nova Lifestyle, Inc. NV 2.02,9.01 04/02/12
NTS, INC. NV 2.02,9.01 03/30/12 AMEND
NU SKIN ENTERPRISES INC DE 5.02 03/27/12
O REILLY AUTOMOTIVE INC 7.01,9.01 04/02/12
ODYSSEY PICTURES CORP NV 5.02 03/30/12
OFFICIAL PAYMENTS HOLDINGS, INC. DE 5.07 04/02/12
OHIO LEGACY CORP OH 8.01 04/02/12
OMEGA PROTEIN CORP NV 5.02,9.01 03/30/12
Oneida Financial Corp. MD 8.01,9.01 03/29/12
OPNEXT INC 1.01,9.01 03/27/12
ORBCOMM Inc. DE 3.02 03/28/12
OSI RESTAURANT PARTNERS, LLC DE 1.01 03/27/12
OVERSTOCK.COM, INC DE 8.01,9.01 03/30/12
OxySure Systems Inc 2.02,9.01 03/30/12
PACER INTERNATIONAL INC TN 1.01,8.01 03/27/12
PAID INC DE 7.01 04/02/12
PAID INC DE 4.01,9.01 04/02/12
PENN VIRGINIA RESOURCE PARTNERS L P DE 8.01 03/30/12
PennantPark Floating Rate Capital Ltd 7.01,9.01 04/02/12
PennantPark Floating Rate Capital Ltd 7.01,9.01 04/02/12
PENNANTPARK INVESTMENT CORP 7.01,9.01 04/02/12
PEOPLES FINANCIAL SERVICES CORP. PA 9.01 03/31/12
PEP BOYS MANNY MOE & JACK PA 2.02,9.01 04/02/12
PEPSICO INC NC 7.01,9.01 03/31/12
PGT, Inc. DE 5.02 03/28/12
PharMerica CORP DE 1.01,1.02,3.03,5.03, 03/28/12
9.01
PINNACLE AIRLINES CORP DE 1.03,9.01 04/01/12
PONIARD PHARMACEUTICALS, INC. WA 5.02,8.01,9.01 03/30/12
PREFERRED APARTMENT COMMUNITIES INC MD 8.01,9.01 04/02/12
Prestige Brands Holdings, Inc. 2.01,7.01,9.01 03/30/12
Primerica, Inc. DE 2.03,9.01 03/27/12
PROCERA NETWORKS INC NV 4.01 03/30/12
PROSPECT CAPITAL CORP MD 1.01,9.01 03/27/12
PROSPERITY BANCSHARES INC TX 8.01,9.01 04/01/12
PYRAMID OIL CO CA 2.02,9.01 03/29/12
QR Energy, LP DE 7.01,9.01 04/02/12
QUANTA SERVICES INC DE 5.02,7.01,9.01 03/29/12
QUANTUM CORP /DE/ DE 1.01,2.03,9.01 03/29/12
RAYMOND JAMES FINANCIAL INC FL 2.01,7.01,9.01 04/02/12
REALNETWORKS INC WA 5.02,7.01,9.01 04/02/12
Red Lion Hotels CORP WA 5.02,9.01 03/27/12
REDDY ICE HOLDINGS INC DE 1.01,9.01 03/27/12
Regional Management Corp. DE 1.01,3.03,5.02,5.03, 03/27/12
8.01,9.01
REGIONS FINANCIAL CORP DE 2.01,5.02,9.01 03/30/12
Renewable Energy Group, Inc. 8.01 03/29/12
Resource Real Estate Opportunity REIT MD 2.01,9.01 03/27/12
REX ENERGY CORP DE 7.01,9.01 04/02/12
REYNOLDS AMERICAN INC 1.01,2.03,9.01 03/27/12
RLJ Acquisition, Inc. NV 8.01,9.01 04/02/12
ROGERS CORP MA 2.02,2.05,7.01,9.01 03/29/12
RPC INC DE 8.01,9.01 04/02/12
SANDRIDGE ENERGY INC DE 1.01,9.01 03/29/12
SANDRIDGE ENERGY INC DE 7.01 04/02/12
SANDRIDGE ENERGY INC DE 8.01,9.01 04/02/12
SBA COMMUNICATIONS CORP FL 1.01,2.01,2.03,9.01 04/02/12
SCHIFF NUTRITION INTERNATIONAL, INC. DE 1.01,2.01,9.01 03/30/12
SEALED AIR CORP/DE DE 5.02 03/27/12
Sequoia Mortgage Trust 2012-2 8.01,9.01 03/01/12
SERVICEMASTER CO DE 1.01 03/27/12
SIGNATURE GROUP HOLDINGS, INC. NV 8.01 04/02/12
SIGNATURE GROUP HOLDINGS, INC. NV 7.01,9.01 04/02/12
SIGNET JEWELERS LTD 8.01 04/02/12
Silver Falcon Mining, Inc. DE 8.01 04/02/12
SMARTHEAT INC. NV 2.02,9.01 04/02/12
SOCKET MOBILE, INC. DE 5.02,9.01 04/02/12
Somaxon Pharmaceuticals, Inc. DE 8.01 03/29/12
SORL Auto Parts Inc DE 7.01,9.01 03/29/12
SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 1.01,9.01 03/30/12
SPECTRASCIENCE INC MN 1.01,2.03,3.02,7.01 03/30/12
Star Gold Corp. NV 5.02,9.01 03/28/12
STEMCELLS INC DE 8.01,9.01 04/02/12
Stereotaxis, Inc. DE 1.01,2.03,9.01 03/30/12
STEWART INFORMATION SERVICES CORP DE 5.02,9.01 03/29/12
STONEMOR PARTNERS LP DE 5.02,7.01,9.01 04/01/12
SUN COMMUNITIES INC MD 2.03,9.01 03/29/12
SUREWEST COMMUNICATIONS CA 8.01,9.01 03/30/12
Swank, Inc. DE 8.01,9.01 04/02/12
T3 Motion, Inc. DE 5.02,9.01 03/27/12
TAL International Group, Inc. DE 1.01,2.03 03/30/12
TELETECH HOLDINGS INC DE 1.01,2.03,7.01,9.01 03/27/12
THERAVANCE INC DE 1.01,3.02,8.01,9.01 04/02/12
Thermon Group Holdings, Inc. DE 2.04,9.01 03/30/12
THOMAS & BETTS CORP TN 8.01,9.01 03/30/12
TRANS LUX CORP DE 3.03,5.03,5.07 04/02/12 AMEND
ULURU INC. NV 2.02,9.01 04/02/12
UNIGENE LABORATORIES INC DE 5.02,9.01 04/01/12
UNITIL CORP NH 5.02 04/01/12
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 03/29/12
URS CORP /NEW/ DE 5.02,9.01 03/28/12
VALOR GOLD CORP. 5.03,5.07,8.01,9.01 03/27/12
VANGUARD HEALTH SYSTEMS INC DE 1.01,2.03,8.01,9.01 04/02/12
VENTAS INC DE 5.02 03/27/12
VENTAS INC DE 8.01,9.01 04/02/12
VERENIUM CORP DE 1.02,8.01 03/30/12
VGTel, Inc. 1.01,9.01 03/31/12
VIASPACE Inc. 2.02,9.01 04/02/12
Vitamin Shoppe, Inc. DE 1.01,5.02,9.01 03/29/12
Vulcan Materials CO NJ 8.01,9.01 04/02/12
W R GRACE & CO DE 2.02,8.01 04/02/12
W R GRACE & CO DE 2.02 04/02/12
WELLS REAL ESTATE INVESTMENT TRUST II MD 1.01 04/01/12
Westway Group, Inc. DE 2.02,9.01 03/30/12
WILLIAMS COMPANIES INC DE 7.01,8.01,9.01 03/29/12
WINNER MEDICAL GROUP INC NV 8.01,9.01 04/01/12
WMI HOLDINGS CORP. WA 1.01,1.02,1.03,2.03, 03/19/11 AMEND
3.02,3.03,5.01,5.02,
5.03
Z TRIM HOLDINGS, INC IL 1.01,2.03,3.02 03/29/12
ZION OIL & GAS INC DE 7.01,9.01 04/02/12
ZIOPHARM ONCOLOGY INC DE 8.01,9.01 04/02/12
ZIOPHARM ONCOLOGY INC DE 8.01,9.01 04/02/12
Ziyang Ceramics Corp FL 2.02,7.01,9.01 03/29/12
http://www.sec.gov/news/digest/2012/dig040312.htm
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